Search for: "Capital Records, LLC"
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10 Jan 2024, 8:05 pm
Now on to the capital cases docket. [read post]
27 Dec 2023, 6:09 pm
Independent Financial Group LLC Overview The White Law Group reviews the regulatory history of Independent Financial Group LLC. [read post]
27 Dec 2023, 3:54 am
Indeed, modern capitalism is unimaginable without limited liability. [read post]
20 Dec 2023, 9:27 am
LLC closed its investment with Capital Funding Bancorp, Inc., the holding company for Baltimore-based CFG Bank. [read post]
11 Dec 2023, 9:05 pm
The filing of books and records actions increased dramatically, as inspection appeared to be the only means of pleading a viable breach of fiduciary duty claim; defense firms complained about the epidemic of books and records actions; and defendants stridently refused to produce any documents in books and records under tenuous theories (that have since been rejected but continue to be asserted). [read post]
11 Dec 2023, 5:39 pm
When stock changes hands, records should be updated accordingly. [read post]
11 Dec 2023, 4:54 am
In a series of decisions, the Appellate Division has held that an entity – especially a real estate owning entity – may suffer irreparable harm when a rogue agent continues to act on behalf of the entity or otherwise interfere in management of the business despite termination of the agent’s authority: Rakosi v Sidney Rubell Co., LLC, 155 AD3d 564 [1st Dept 2017] [“Plaintiffs have shown irreparable injury to the extent the properties continue to be managed by an… [read post]
4 Dec 2023, 4:58 am
It also stated that there would need to be a management agreement whereby GF would charge ENGenuity a monthly fee for services, and that GF would lend ENGenuity $100,000 for “initial working capital” to be repaid over five years. [read post]
1 Dec 2023, 4:12 am
Capital Distributors, LLC and Capital Imports, LLC., Cancellation No. 92078857 (November 29, 2023) [not precedential] (Opinion by Judge Mark A. [read post]
30 Nov 2023, 1:58 pm
Randall Skrabonja (Randall George Skrabonja CRD# 1858245) is a previously registered broker and investment advisor last employed with Green Vista Capital, LLC (CRD# 293630) of Winter Park, FL. [read post]
29 Nov 2023, 8:59 am
By refusing to appear for on-the-record testimony as requested Curtis reportedly violated FINRA Rules 8210 and 2010. [read post]
29 Nov 2023, 7:29 am
According to his broker report, Aegis Capital Corp discharged Silvestri in July 2023 after the “Firm determined that Mr. [read post]
28 Nov 2023, 10:19 am
Properties LLC). [read post]
28 Nov 2023, 6:51 am
In December 2019, investment research company Muddy Waters Capital LLC published a number of allegations querying the accuracy of NMC’s financial reporting. [read post]
27 Nov 2023, 11:59 am
In plain terms, the sicker the MA Plan’s enrollees, the higher the capitated payments the MA Plans receive. [read post]
27 Nov 2023, 8:22 am
(CRD#:39262), Woodland Hills, CA, B, 07/10/2019 – 12/23/2019, SPARTAN CAPITAL SECURITIES, LLC (CRD#:146251), NEW YORK, NY B, 08/21/2017 – 07/10/2019, WESTERN INTERNATIONAL SECURITIES, INC. [read post]
16 Nov 2023, 9:04 am
The press release details the record high $600 million paid to SEC whistleblowers, and the recovery of nearly $5 billion through a total of 784 enforcement actions, the second highest in history. [read post]
15 Nov 2023, 6:26 am
In addition, FinTech investment adviser Titan Global Capital Management USA LLC agreed to pay more than $1 million combined in a civil penalty, disgorgement, and prejudgment interest to settle charges that it violated the marketing rule. [read post]
15 Nov 2023, 5:55 am
Matrix Capital Markets Group, Inc., an independent investment bank with offices in Baltimore, announced the sale of Day Motor Sports LLC to CEO Dan Hamilton and Chief Financial Officer Stacy Hamilton. [read post]
14 Nov 2023, 9:01 pm
In addition, FinTech investment adviser Titan Global Capital Management USA LLC agreed to pay more than $1 million combined in a civil penalty, disgorgement, and prejudgment interest to settle charges that it violated the marketing rule. [read post]
